Lauren K. Rule
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lauren King Rule, who also goes by Lauren King Sbordone, was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 1998. Lauren had worked at 8 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2024 - August 3, 2025
TOBIN & COMPANY SECURITIES LLC
March 31, 2022 - March 28, 2024
TOBIN & COMPANY SECURITIES LLC
March 9, 2018 - April 1, 2020
TOBIN & COMPANY SECURITIES LLC
July 19, 2017 - March 27, 2020
DUNCAN FINANCIAL MANAGEMENT, INC.
June 25, 2012 - April 6, 2016
AQUA SECURITIES L.P.
March 8, 2007 - October 19, 2011
CBOE TRADING, INC.
January 22, 2004 - January 30, 2007
ARCHIPELAGO TRADING SERVICES, INC.
August 14, 2002 - January 30, 2007
ARCHIPELAGO SECURITIES L.L.C.
March 2, 2001 - August 14, 2002
WAVE SECURITIES, LLC
December 3, 1998 - January 30, 2001
QUICK & REILLY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TOBIN & COMPANY SECURITIES LLC
CRD#: 137918 / SEC#: , 8-67134
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOBIN & COMPANY INVESTMENT BANKING GROUP LLC | PARENT COMPANY | |
| TOBIN, JUSTINE EIDT | CHIEF COMPLIANCE OFFICER | 1641345 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
